Company: Ameriprise Financial
Position: Compliance Manager/Officer
Location: Minneapolis, MN
Description: Conducts investigations to evaluate potential risks to the Company and its clients, advisors or employees, including learning the root causes of and developing solutions to any identified risks.
About Ameriprise :
With the right company, life can be brilliant. At Ameriprise, we’re not just in the business of helping clients with their financial goals — we also help our advisors and employees reach their true potential. Be part of an inclusive, collaborative culture that rewards you for your contributions and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So if you’re talented, driven and want to work for a strong ethical company that cares, take the next step to create a brilliant career at Ameriprise Financial.
- Conducts efficient, timely, confidential investigations across the Company related to a variety of subject matters, including those unique to the industries in which the Company operates as well as general business activities, that may be raised by a variety of stakeholders, including but not limited to internal business clients, regulatory agencies, and clients
- Presents findings to variety of stakeholders, including internal business clients, legal and compliance
- Testifies in court or arbitration proceedings and before regulators as needed
- Supports regulatory exams and inquiries as needed
- 4-year college degree or equivalent experience.
- Experience conducting investigations, including developing an investigation plan, obtaining relevant documents & information, conducting interviews, and documenting findings.
- Comfortable raising issues, asking for help and probing for complete information.
- Demonstrated ability to apply qualitative & quantitative analytical techniques to solve problems and provide business solutions and recommendations.
- Excellent written and oral communications skills, including ability to explain complex subject matter to a variety of audiences.
- Excellent interpersonal skills.
- Critical & strategic thinking skills.
- Capacity to plan and efficiently manage multiple and competing priorities and deadlines in a highly dynamic environment.
- Proficient with Excel and MS Access, and experience in developing reports/charts/graphs to convey complex information to all levels of the organization.
- Energetic, flexible, service-oriented individual with a positive attitude.
- Interest in the investment markets and financial services industry.
- Understanding of the products and services offered by a diversified financial services company.
- Strong attention to detail, yet capable of seeing the big picture.
- Demonstrated ability to train and coach others.
- Ability to adapt to different cultures and styles.
- Experience as a data scientist or analyst.
- Experience in the securities, insurance, and asset management industries.
- Experience managing direct reports and project teams.
- Experience with regulators responsible for providing oversight to financial services industry.